Download Cognition, Grammaticalization and Syntactic Change. The

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Maria José CARVALHO
Cognition, Grammaticalization and Syntactic Change.
The emergence of Compound Tenses in Portuguese1
Maria José CARVALHO2
Abstract: This article analyzes the historical process of the grammaticalization of
aver/ter ‘to have’ in compound tenses, since Portuguese is somewhat isolated among
Romance languages in this respect. Our research has shown that the change in
auer/ter, from indicating possession to acting as auxiliaries, involved a process of
recategorization similar to that seen with the verbs “go”, “come” and “have” in some
languages, sharing with them a fundamental characteristic: the fact that in one phase
of the transition constructions developed which were capable of being interpreted
in both ways (expressing both result and time). Thus, as in those languages, the
process of recategorizing involves an intermediate step of structural ambiguity
whereby a given construction can be interpreted in two different ways. We will try
to clarify the gradual process of reanalysis of ter in the medieval period, based on a
corpus of original juridical sources (13th – 16th centuries) which we have transcribed,
originating from a particularly important centre in medieval Portuguese culture, the
monastery of Alcobaça (between Coimbra and Lisbon). The corpus consists of 153
original documents not only from the monastery but also from the outlying areas
under its jurisdiction, dating from between 1289 and 1565.
Keywords: Grammaticalization; Auxiliaries; Compound tenses.
Resumo: Este artigo analisa o processo histórico da gramaticalização de aver/
ter em tempos compostos, uma vez que, a este respeito, o Português conheceu
uma evolução quase única no espaço românico. A nossa pesquisa mostrou que a
mudança de auer/ter indicando posse para estruturas em que funciona como auxiliar
envolveu um processo de recategorização semelhante ao dos verbos go, come ou
have em algumas línguas, partilhando com elas uma caraterística fundamental: o
facto de, numa fase da transição, se terem desenvolvido construções passíveis de
serem interpretadas de ambas as maneiras (expressando simultaneamente resultado
e tempo). Assim, tal como nessas línguas, o processo de recategorização envolve um
estádio intermédio de ambiguidade estrutural em que uma determinada construção
pode ser duplamente interpretada. Tentaremos clarificar o processo gradual de
reanálise de ter no período medieval, com base num corpus jurídico original (sécs.
XIII-XVI), por nós transcrito, oriundo de um importante centro cultural medieval,
o mosteiro de Alcobaça (entre Coimbra e Lisboa). O corpus é constituído por 153
documentos originais não apenas do mosteiro, mas igualmente dos ‘coutos’, áreas
circundantes sob sua jurisdição, e datam de entre 1289 e 1565.
Palavras-chave: Gramaticalização; Auxiliares; Tempos compostos.
Introduction
“Aver” and “ter” indicating possession in medieval Portuguese
Throughout the archaic phase of Portuguese, aver and ter were
1
This article is an extended version of a paper presented in Portuguese to Congreso Internacional
“Filología Románica Hoy” (Universidad Complutense de Madrid, Facultad de Filología, 3, 4 y 5
de noviembre 2011).
2
Assistant Professor of the Faculty of Arts of Coimbra. Correio eletrônico: [email protected]/
[email protected].
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used concurrently to express possession. At first, aver was the general
verb in such expressions, although both verbs coexisted in identical
contexts within the same document, as in the following examples:
(1)«vinhas que ela auya»/«vinhos que ora teemos en cubadas»;
‘vineyards that she had’/ ‘wines that we now have in vats’ (1343)
(2)«ſeus bẽes de rraiz que elles ham»/«que ell nom tijnha agora dinheirros»
‘their property which they have’/ ‘that he now had no money’ (1444)
(3)«nõ avendo poder»/«tynha hũa metade»
‘not having power’/ ‘had a half’ (1507)
From the 1480s or 1490s onwards, the percentages of ter relative
to aver began to be reversed, with no surviving documents showing
the generalization of aver. The expansion of ter at the expense of aver
originated in structures where the complement of the verb expressed
material possessions external to the owner (ter terras, ter herdades,
ter bens, etc. ([‘have lands, estates, possessions’]). Only later we find
structures with complements expressing goods or properties, personal
or acquired, which are or have become inherent to the ‘possessor’,
such as moral, spiritual, intellectual, emotional or social qualities:
ter amor, ter juízo, ter vaidade, etc. ([‘have love, sense, vanity’])
or abstract concepts (ter temor, ter poder, ter paz, etc. ([‘have fear,
power, peace’]). Thus what we see here is a movement of ter to the
area of ‘non-prototypical’ possession. In chronological terms, as we
have remarked elsewhere (CARVALHO, 2006, p. 582), the change in
the behavior of ter and aver seems to have coincided with the new
sociocultural horizons opened by the Portuguese Discoveries and by
Italian humanism.
“Auer/ter” + past participle: from the notion of possession/result to
that of time/ memory
Apart from typical structures indicating possession constructed
with the verbs aver/ter and a noun complement, there were others
where these verbs were followed by a past participle, sometimes
appearing inflected, sometimes uninflected. It is this type of structure
which we shall concentrate on here, since it is its evolution over time
(from resultative, still linked to the idea of possession, to the notion
of time) which may provide the key to understanding the emergence
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Maria José CARVALHO
of compound tenses in Portuguese. Thus, in modern Portuguese,
compound tenses are formed with the auxiliary ter ‘to have’ (< Lat.
tenere) followed by an uninflected past participle («Eu tenho escrito
muitos livros» ‘I have written many books’/«Eu tenho trabalhado muito
nas últimas semanas», ‘I have worked hard in the last few weeks’, «O
João já tinha ido aos Estados Unidos», ‘John had already gone to the
United States’). In fact, the Romance languages, unlike Latin, formed
new compound tenses to express past actions: besides the Imperfect
«eu trabalhava» ‘I used to work’, the simple Preterite «eu trabalhei»
‘I worked’ and the Simple Pluperfect «eu trabalhara», ‘I had worked’,
there appear the Compound Preterite and the Compound Pluperfect
(this last with a common time value), which in most Romance languages
are formed with habere (in Portuguese and Asturian with tenere, ‘ter’):
j’ai fait/j’avais fait (Fr.), he hecho/habia hecho (Sp.), tenho amado/
tinha amado (Port.), ho lavorato/avevo lavorato (It.). Most Romance
languages, particularly French and Italian, but also Spanish, often use
the Compound Preterite, and in daily usage the simple Preterite is almost
extinct. In this respect Portuguese differs from these other languages,
tenaciously preserving the simple Preterite to express finished actions
in the past: for Spanish «ha comido ya», «ha dormido bien» Portuguese
has «já jantou», «dormiu bem»3. We should emphasize, however, that in
Portuguese the simple Preterite and the Compound Preterite have very
different temporal and aspectual values. Thus, in «Tenho trabalhado
muito ultimamente» (‘I have been working hard recently’) or «Tenho
escrito muitos livros» (‘I have written many books’), we have actions
(«trabalhar», «escrever») which are still not finished in the present
and which are still taking place at the moment of speaking (in English,
they correspond either to the Present Perfect or to the Present Perfect
Continuous, as in the examples above), while in «Trabalhei muito» (‘I
worked hard’), the action is already finished at the time of speaking,
and a time expression can be used to anchor it to a particular past
moment (‘I worked hard last week’, for example). The Compound
Preterite is basically a tense which is not used with adverbs of time
referring to specific moments in the past (*Tenho estudado muito
The linguistic conditions of this phenomenon in Italy lead us to believe that the conservatism
of Portuguese is a legacy from Roman times, since Italian dialects differ in the same way as
those in the Iberian Penisula. There too there is the same contrast between northern/ central
varieties, with their widespread use of compound tenses, and southern dialects, some of which
dispense completely with the new tenses: for «esta manhã choveu» (Port.), Sicilian uses
«chiuvíu» instead of common Italian’s «ha piovuto».
3
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ontem/no ano passado/ há cinco minutos). In Portuguese compound
tenses, as already mentioned, the past participle does not vary, not
agreeing in number or gender with the direct object which may follow
it: «Tenho cantado muitas canções»/«Tinha cantado muitas canções»
(‘I have sung many songs’/I had sung many songs’).
The precise aim of this article, then, is to analyze the historical
process of the grammaticalization of auer/ter4 in compound tenses, since
Portuguese, the Romance language which went furthest in replacing
habere by tenere (García Martín, 2001, p. 53), has been somewhat
isolated among Romance languages in this respect.5 We shall therefore
try to identify the cognitive, discursive (and possibly social) factors
which gave rise to the change from the notion of possession/result
to that of time or ‘memory’. This was expressed in a phenomenon of
grammaticalization, since the change of aver/ter into auxiliaries led to
a process of reanalysis, with consequent loss of lexical meaning.
Gramaticalization and syntactic change
In recent years, special emphasis has been given to the historical
nature of grammaticalization processes, linking them to a particular
type of linguistic change, subject to certain general processes and
mechanisms (such as metaphorical and metonymical transference,
reanalysis, etc.) and characterized by certain consequences, such
as changes in grammar. Like other linguistic changes, in this view,
grammaticalization proceeds gradually, both in linguistic and in social
contexts. In contrast with other phenomena (particularly phonetic and
morphological), the evolutionary process whereby ter evolved in the
direction of time in this construction was slow and gradual, leading
us to conclusions on the gradual nature of syntactic change6. Thus, in
phonology (except for types of free variation, stylistically conditioned),
from the moment when the gradual change is completed, an entity
perceived as distinctive (a phoneme, for example) completely replaces
When we speak of the grammaticalization of the verb auer (arc.) (haver, contemporary Port.)
as an auxiliary, we are referring above all to Galician, which until the 14th century formed a
linguistic unit with Portuguese in the west of the Peninsula. In fact the construction with the
auxiliary auer was little used in Portuguese.
5
Hopper and Traugott (1993, p. 53) characterise the evolution of habere thus: “the path
from habere to the perfect was via the locative-possessive-existential in transitive contexts of
cognitive and sensory states”.
6
This gradual character of grammaticalization processes has been stressed by Lichtenberk
(1991: p. 37-80), with regard to a language spoken on the island of Malaita (southeast of the
Solomon Islands, in Oceania).
4
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Maria José CARVALHO
the former so that at the level of perception a new linguistic situation
is reached; in syntax, however, the two situations may coexist for a
considerable time. Furthermore, after taking place in spoken language,
the syntactic change is not immediately reflected in writing. There is
usually a large time gap between the moment of syntactic innovation
in speech and its subsequent written manifestations. The view which
in our opinion best reflects the nature of the process is presented by
Traugott as “a gradient phenomenon, whereby forms and constructions
that at first express primarily concrete, lexical, and objective meanings
come through repeated use in local syntactic contexts to serve
increasingly abstract, pragmatic, interpersonal and speaker-based
functions” (Traugott, 1995, p.32). Thus grammaticalization appears to
be associated with the pragmatic-semantic process of subjectivization,
where “meanings become increasingly based on the speaker´s belief
state/attitude toward the proposition” (Traugott, 1995, p.31).
Present state of the discussion
The study by Naro and Lemle (1977, p. 259-268), now recognized
as classic, deals with the formation of Portuguese compound tenses,
that is, the emergence of ter as an auxiliary in compound tenses,
and thus the first known case of the reanalysis of this verb. However,
the study was based on just one example, taken from a Portuguese
religious text (the Orto do Esposo), originally composed between 1383
and 1417, and preserved in two manuscripts, A (Alc. 198/cclxxiii)
and B (Alc. 212/cclxxiv), paleographically dated to the first half of the
15th century and to the end of the century respectively. As well as
being insufficiently representative, then, there is the question of the
textual transmission of the work, with all its possible risks of linguistic
inauthenticity. But even apart from that, the example given by the
authors contains a direct object which allows no other option than the
unmarked (masculine) form, as seen here:
Grave imigo tem ganhado a castidade (Orto/307)
This sentence, a translation of the Latin gravem inimicum
sortita est castitas (which includes the deponent verb sortior), could
be rephrased as «A castidade tem ganhado grave imigo» ‘chastity has
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acquired a great enemy’. Obviously this is a construction with temporal
meaning and not just with an adjectival complement. However, the
direct object («grave imigo») is grammatically masculine, so there was
no other possible choice for the agreement apart from ganhado (*A
castidade tem ganhada grave imigo).
Advantages of an authentic juridical corpus, chronologically arranged
We will try to clarify the gradual process of reanalysis of ter in
the medieval period, based on a corpus of original juridical sources
(13th – 16th centuries) which we have transcribed,7 originating from
a particularly important centre in medieval Portuguese culture, the
monastery of Alcobaça (between Coimbra and Lisbon). The selected
documents are part of the collection Mosteiro de Alcobaça (1st and 2nd
Incorporations) from the “Institutos dos Arquivos Nacionais/Torre do
Tombo” (Lisbon), the largest and most important national archive. The
corpus consists of 153 original documents not only from the monastery
but also from the outlying areas under its jurisdiction (‘coutos’), dating
from between 1289 and 1565.8 In the corpus we have found 8 tokens
for the verb auer and 18 for the verb ter + past participle, and it is on
these that we have concentrated our research.
We chose to study a single corpus, chronologically arranged,
because we believe that it is by comparing texts of the same genre
over time that we can arrive at ‘authentic’ diachronic variation. The
universe of the discourse is the juridical language used in land and
property contracts: documents concerned with buying, selling, rental,
exchange, receipts and wills, for example. Through this double basis of
the field of study – spatial and thematic – we can observe the continuous
evolution of the texts and therefore, in parallel, of the language.
Analysis of the corpus (13th to 16th centuries)
As we shall now see, the change in auer/ter ‘to have’, from
7
Part of our doctorate, unpublished. The transcription has been based on rigorous criteria, on
the principle of scrupulous respect for the language of the manuscript.
8
The selection criteria were essentially diatopic and diachronic, but obviously the corpus would
never be perfect. We may recall Labov (1994, p. 11): “But the data that are rich in so many
ways are impoverished in others. Historical documents survive by chance, not by design, and
the selection that is available is the product of an unpredictable series of historical accidents
(…). Historical linguistics can then be thought of as the art of making the best use of bad data”.
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Maria José CARVALHO
indicating possession to acting as auxiliaries, involved a process of
recategorization similar to that seen with the verbs “go”, “come” and
“have” in some languages (in the Ivory Coast and Liberia, for example)
(Heine, 1993, p.116), sharing with them a fundamental characteristic:
the fact that in one phase of the transition constructions developed
which were capable of being interpreted in both ways (expressing
both result and time), since there was an identification between the
subject of the clause and the agent of the action expressed by the past
participle. Thus, as in those languages, the process of recategorizing
involves “an intermediate step of structural ambiguity whereby a given
construction can be interpreted in two different ways”, as claimed by
Heine (1993, p. 116).
The following examples are from contemporary European
Portuguese:
(i)
(ii)
(iii)
Temos/Tínhamos os carros reparados (‘We have/had got the cars
repaired’)
(*?) Temos/Tínhamos reparados os carros
Temos/Tínhamos reparado os carros (‘We have/had repaired the cars’)
Example (i) is a possessive structure, where the subject/ agent
of the action expressed by the past participle may not necessarily
correspond to the subject of the action expressed by the verb ter.
Example (ii) is unacceptable9 in contemporary European Portuguese,
but was common in medieval Portuguese, as we shall see in our
analysis of the corpus. It was this second type of construction (where
the subject of the action expressed by the past participle coincides
with the subject of ter) which formed a transition to example (iii),
which expresses temporal-aspectual meaning. With the Compound
Preterite (no examples of which appear in our corpus), the meaning
is progressive-iterative and not perfective, as for example in Spanish.
The innovation in modern Portuguese (15th – 16th centuries), as
we shall see, is morphological in nature – the loss of agreement of the
Past Participle in favor of the unmarked form.
The construction is grammatically possible. In use, however, the fact that it is ambiguous
in its syntactic subject (which performs the action expressed by the past participle) makes it
‘anomalous’. Thus the construction can only occur in very specific contexts, such as when the
speaker wishes to emphasize the result of an action s/he has performed.
9
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Verb “auer”/”ter” followed by adjectival status complement
Let us consider the following examples, with the verbs ter
and auer, followed by a complement of adjectival status. We can see
that, as in the examples shown above («Temos/Tínhamos os carros
reparados»), what is being expressed is the result, at a particular
moment (present or past) of the action described by the past participle:
Table 1 - Verb ter followed by adjectival status complement
Ter + Inflected Past Participle, indicating possession
1343 Cós
(a) «pela gyſſa que as [dytas couſſas] el
de mỹ tẽ rrendadas»
‘by the way that he has got them [aforesaid things] rented, from me’
1422 MA
(b) «que a [dicta quintaa] tjnha emplazada»
‘that had got it [aforesaid farm] rented’
Firstly it should be pointed out that in certain past participle
structures, the agent of the action is not the same as the subject of the
verb ter, which is the beneficiary/locative of the result of a previous
action. Thus, ter (‘to have’) is not an auxiliary but rather a predicative
transitive, with participles such as rrendadas, emplazada ‘rented’, as
predicatives of the direct complement, indicating a quality or state.
This is therefore a structure which includes a predicative substructure
with a specific format: a resultative passive construction10. Silva (1981,
p.97) defines the structure as: “the verb ter followed by a complement
with a participle of adjectival status”. According to Naro and Lemle
(1977, p. 265), “given the adjectival status of the participle in this
construction, it does not necessarily have the same ‘subject’ as the
verb ter”.
According to Ali (1957, p. 126), this is “a periphrastic construction
created by the approximation and semantic linking of an active element
– habere or tenere – and a passive element, the former referring to the
subject, the latter to the direct object”.11 In this type of construction,
Compare the example: «O Zé tem os livros arrumados» – ‘Zé has got the books tidied’.
In this type of structure we should include the “tenho apartadas” construction, occurring
in the Testamento de Afonso II (the first document written in Portuguese) expressing the
possession of a completed action already transformed into the past.
10
11
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Maria José CARVALHO
the earliest verb of possession in medieval Portuguese not semantically
integrated with the adjective was ter. Exceptionally, there is one
example of this same type with auer, from a period when this verb,
in both possessive and past participle structures, was beginning its
decline:
(1) «e que a dita caſa ouuerom lleuãtada e coregijda de parede e
madeira» (1448 Alj)
‘and that they had got the aforesaid house built and equipped with walls and
wood’
These examples are similar to others in our corpus which
indicate a possessive structure, but which could not have been the
origin of constructions with compound tenses in contemporary European
Portuguese, since, as an auxiliary, ter can never appear in the Simple
Preterite (thus, «Eu tive os carros reparados, but * Eu tive reparado
os carros):
(2)«teuerõ rrẽdadoſ oſ seuſ moinhos» (1412 Ped)
‘they had got their mills rented’
(3)«teuerom rrẽdadoſ oſ dictoſ moinhos» (1412 Ped)
‘they had got the aforesaid mills rented’
Constructions with “auer” / “ter” + inflected past participle
We shall now analyze constructions with auer / ter + past
participle, rather different from those presented in the preceding
section. In the data for this study dating from the 14th century, auer and
ter appear with inflected participles, no longer functioning to express
simple possession as seen previously, since both auer/ter and the past
participle already contain the idea of time. As we have said above, it
must be remembered that this type of structure (of the type «*Temos
reparados os carros») is not considered correct in present-day European
Portuguese, though it was common in the medieval period:
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Table 2 – Constructions with auer + inflected past participle
Auer + inflected past participle
1328 Alj
(a) «hũa çitaçõ que nos auemos fecta ao abade»
‘a document which we have produced’
1388 MA
(b) «ajudas que eu hey rrecebidas do moeſteiro»
‘help which I have received from the monastery’
1402 MA
(c) «jniurias e palauras e defamamẽtos que del ouueſſe
dados»
‘libels which he had committed against him’
(d) «diujdas que na dicta demãda auja fectas»
‘debts which he had made in the aforesaid case’
1541 Sal
(e) «que elles avyão a dyta demarquação aſj ffeyta»
‘that they had got the property deed drawn up in this
way’
Table 3 – Constructions with ter + inflected past participle
Ter + inflected past participle
1304 Alc
(a) «herdamẽtos que diziã (…) que lhis nos (…) tijnhamos filhados»
‘estates that they said (…) we had taken from them’
1459 MA
(b) «nom fazendo perjujzo a algũas eſcripturas ſe lhas o
dito moeſteiro tem fectas»
‘without prejudice to any deeds, if the aforesaid monastery has produced it for them’
1491 Alj
(c) «todos os ffrujtos e rendas que aſy tẽem recebydos»
‘all goods and rents which they have thus received’
1526 Ped
(d) «sẽ ẽbargo da poſe que ja lhe tinhã dada»;
‘despite the property which they had already given him’
(e) «ſem embargo da [poſe ] que ja lhe tinham dada»
‘despite the [property] which they had already given him’
1565 Alc
(f) «por ser duujda poderẽ lha [escritura] fazer pela que
tinhã feita ja ao autor João Luis»
‘as it is not certain they can make it [the deed] by that
they had already done to the plaintiff João Luís’
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We may suppose that the verbs auer/ter are already acting as
an auxiliary in a compound tense in all these constructions, even those
with auer. Many tests to identify auxiliarity12 lead us to conclude that:
(i) the agent of the action expressed by the past participle is the same as the
subject of the verb auer/ter; that is, the subject of auer/ter is the same
as that of the verbs filhar, fazer, receber and dar (principle of subject
identity);
(ii) nothing is interpolated between the verbs auer/ter and the past participle
(apart from the example of 1541, where the discoursal deictic aſj, ‘assim’,
‘thus’, is interposed);
(iii)the constructions include the idea of past time.
In fact, none of these requirements means that the verb auer/
ter and the participle could not just as well be indicating a resultative
state, the possession of the result of an action. One way to estimate the
grammaticalization of auer/ter + PP constructions is to see if they can
be replaced by other constructions with presumably the same function
– that is, by the simple Pluperfect (fizera, recebera, dera). So, applying
this test to the examples in tables 2 and 3, we see that the exchange is
impossible without significantly altering the temporal-aspectual value
of the construction. We believe that the idea of a resultative state
is expressed morphologically by means of the agreement of the past
participle with the preceding direct object. In the majority of examples,
this agreement means that we cannot consider this verb as an auxiliary
and therefore as grammaticalized. We are therefore close to the notion
of auxiliarity, but in fact auer/ter and the participle here do not make
one indivisible unit of meaning.
In fact, in constructions where the forms of the past participle
agree with the preceding direct object complement, it is clear that auer/
ter could not be considered an auxiliary. Thus, the examples shown in
tables 2 and 3 do not indicate the results of grammaticalization (despite
their proximity to a semantic unit with temporal value), but rather
lexical expansion. As Harre states: “The two developments – semantic
expansion and an incipient auxiliary function – are presumably not
entirely separate from each other”. (Harre, 1991, p. 120).
A brief presentation of the principal questions related to the notion of auxiliarity (problems,
theories, criteria, definitions, properties) can be found in Heine (1993, p. 3-26).
12
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Constructions with ter/auer + uninflected past participle: cognitive,
discursive and social factors in grammaticalization13
In parallel with previous structures, others with auer/ter
began to develop, not only expressing time, but also showing lack of
agreement, as in modern Portuguese. Around the middle of the 15th
century, structures with auer and ter expressing the notion of result
began to disappear, at least in central-southern Portugal, where the
norm would be established.14 It seems, however, that the construction
with auer acting as auxiliary was already present in Galician prose
chronicles. An interesting case is that found in the Traducción gallega
de la Crónica General y de la Crónica de Castilla (Lorenzo, 1975), a
Galician literary text from the first half of the 14th century. This is avedes
sofrudo, followed by two coordinated noun phrases (one masculine and
the other feminine):
“avedes sofrudo muyto afã et moyta lazeyra” (chap. 235, p. 382, l. 17)
‘you have suffered great labour and hunger’
This example leads us to believe that in this type of construction
the participle agrees with the first noun, but we would need to
find further examples to draw any conclusions as to the degree of
grammaticalization of auer as an auxiliary in this construction with a
compound complement. In fact in Galician other constructions without
any type of ambiguity prove that the structure with auxiliary auer +
PP was known quite early, as we see in this example from the same
chronicle:
“que llj auia mandado os onrrados corpos” (Lorenzo, 1975, p. 334, ls. 6-7)
‘because he had sent him the honoured bodies’
This is unquestionably a clear case of grammaticalization of
auer as auxiliary in a compound tense, since the complement is in the
masculine plural, showing no agreement with the past participle. In
this same work we also find the following, with a noun phrase in the
plural:
On grammaticalization (which, as we shall see, has the nature of a cognitive process) it
would be interesting to analyze the evolution of the phenomenon over time in different kinds
of corpora, to identify the origin of the innovation and the possible social stratification of the
variants.
14
We know that in Galician, which began to be separate from Portuguese from the mid-14th
century, the auxiliary is aver, not ter.
13
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Maria José CARVALHO
“Poys que uos auemos contado et dito todos os feytos del rrey don Fernando
[…]” (chap. 496, p. 723, l. 2-3).
“Since we have related and told all the deeds of King Fernando”
The same is found in the following example from the same
chronicle, with the past participle of the verb dizer:
«et a outras [nobrezas] muytas e grandes sem todas estas que dito avemos»
(Lorenzo, 1975, p. 887, ls. 29-30).
“and to many other great [nobility] without all that we have said”
These two examples with dizer are extremely interesting, and
also occur in our corpus. We have analyzed the behavior of the verb
auer in these constructions:
Table 4 – Occurrences of uninflected past participle + auer
Inversion of order (PP + auer)
1352 Ped
(a) «pola guiſa que ia ſuſo dicto auja»
‘as he had already said above’
1414 Alv
(b) «como dicto aujã»
‘as they had said’
1435 Alj
(c) «pidjuo o djtto ſtromẽto que pidjdo
auja»
‘he requested the aforesaid document
which he had requested’
Since two of the examples occur in an intransitive structure,
it could be claimed that the compound tense here was earlier than in
transitive constructions, thus supporting Harre’s idea, in her study of
tener + participle (Harre, 1991, p. 71), that “some intransitive verbs
are accepted in the construction before all transitive verbs have been
accepted”. Historically it is interesting, and surely no mere coincidence,
that it was precisely with the participial form of the same verb that
the first cases of compound tenses arose. Linking the synchronic (by
means of a brief field study of Spanish informants) to the diachronic,
Harre claimed that “The investigation of contemporary use of tener +
past participle suggested that tener dicho was one of the most widely
accepted uses of the construction” (Harre, 1991, p. 103).
Carey (1994, p. 114), using concepts from pragmatics, concludes
that “verbs of reporting [say, tell, explain], like mental state verbs,
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nearly entail that the subject is the agent of the process, part (ii) of the
perfect1 meaning”. Thus, an example such as “Nu hæble we ymb Affrica
Landgemæro gesæd” ‘Now we have talked about the African land’
typically involve a perfect rather than an adjectival meaning,
and therefore play a role in lexicalizing the perfect meaning.
Mental state and reporting verbs are semantically well-suited
to cause the shift from the adjectival to the perfect relation
because they appear in contexts in which the relevant final
state is not the state of the object; it is instead the mental
state of the subject in one case, and the state of discourse in
the other (CAREY, 1994, p. 115).
One of her conclusions is that “the perfect meaning was likely to
be conventionalized first in mental state verbs and verbs of reporting,
a conclusion that is supported by the historical data” (Carey, 1994,
p. 115). In a later article (Carey, 1995), she elaborates on this, using
Traugott’s notion of subjectivization (Traugott, 1995). Basing her
argument on medieval English data, she claims that speakers often
summarize what they say, using verbs of perception and reporting and
thus creating coherence in the discourse. She points out that with these
verbs it is the event which is highlighted, not the resultative state. That
is, the speaker’s intention in mentioning previous discourse is not so
much to shift the focus to previous events as to relate these events to
the current discursive situation. As Carey summarizes:
It is not surprising that the first uses of a perfect appear as
implicatures with verbs of communication and perception:
since a perfect construction relates a past event to the hereand-now of the discourse context, it is understandable that
the notion of current relevance arises with verbs that directly
relate to the ongoing discourse itself. What could be more
currently relevant to the ‘now’ point of the discourse than
what the speaker assumes has been said or heard previously?
(CAREY, 1995, p. 92)
We must also emphasize the importance, at least in the first
two examples from Table 4 (a and b), of the inversion of word order
(PP + auer), since it partly supports Company’s (1983, p. 249) claim
that inverted order appears in highly specific contexts which favor the
inversion of the participle: a) in exclamations and brief constructions,
generally at the beginning of the phonic group; b) clauses which
summarize everything previously expressed in the discourse.15
Notice that in these examples the compound tense is preceded by “ia ſuſo” ‘already [said]’
and “como” ‘as [said] above’, which create coherence in discourse.
15
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Maria José CARVALHO
Anyway, we should remember that the two first examples in
Table 4 are quite crystallized, only admitting objects to the clause,
which explains the fixing of the participle in the masculine form. To
recognize the functions which are truly at work in a particular state of
a language we must distinguish, as Coseriu says, between the free use
of the possibilities offered by the linguistic system and the techniques
of repeated discourse, for it is only the former which will produce valid
conclusions16.
The inversion (PP + auer, as a compound tense) in our documents
seems to have originated, socio-geographically, in rural or outlying
areas, and might reveal an interesting metalinguistic mechanism in
popular consciousness, to express a difference from structures with
agreement of PP and direct object. However, it is of course impossible
to know if there is agreement when the referent is masculine singular.
The first examples in Table 4, while interesting for further study (such
as in the order PP + AUX), are therefore not useful in showing early
signs of compound tenses. However, since they occur in documents
from rural areas beyond the monastery, they can point to the need to
relate studies of grammaticalization with sociolinguistic research, for,
as Hopper and Traugott (1993, p. 30) observe, “unfortunately, a fuller
integration of sociolinguistic and developmental research with research
on grammaticalization still remains to be worked out”.
Gradually, the expansion of ter + participle took on a different
character, and new developments in the structure arose, not originating
in the lexical expansion of ter but rather in the loss of its lexical value
in the construction. We shall therefore analyze these new, typically
Portuguese, examples of ter (aux.) + past participle, where ter is fully
grammaticalized:
16
It is therefore impossible to ascertain the degree of grammaticalization of ter in the infinitive
construction “tijna prometido ir” ‘had promised to go’, as found in the Traducción gallega de la
Crónica General y de la Crónica de Castilla (Lorenzo, 1975, p. 314, ls. 6-7).
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Table 5 – Occurrences of ter + uninflected past participle
Ter + uninflected past participle
1434 SC
(g) «elles tjnhãm fecto hũ cõtrauto»
‘they had made a contract’
1455 MA
(h) «obrjgaçom que ell ao dito senhor e ſſeu moeſtejro
teueſſe ffecto»
‘obligation which he could have made to the aforesaid
lord and his monastery ’
1490 MA
(i) «libelo que dado tinham contra o dito Pero Lobo»
‘libel that they had committed against the aforesaid
Pero Lobo’
1529 MA
1532 Tur
(j) «por terẽ ja mãdado veer os ditos matos»
‘for having already asked to see the aforesaid forests’
(k) «tjnhão vẽdjdo Afõſo Djaz (…) hũa caſa»
‘they had sold a house to Afonso Dias (...)’
1536 SC
(l) «tynham ffecto hũa çedolla»
‘they had made a clause’
(m) «tynham deſſemcaregado ſuas comcyemcyas»
‘they had satisfied their consciences’
(n) «tynham mandado ffazer o que pertemçe a ſuas
almas»
‘they had told them to do what their conciences tell
them’
(o) «tjnham deyxado ao prior e comuẽto do moſteyro d’ Allcobaça a omrra e louvor do Senhor Deus»
‘they had left to the prior and the convent of the Monastery of Alcobaça the honour and praise of God’
1541 Sal
(p) «ho prazo que lhe tynhão dado»
‘the property which they had rented to him’
As in the previous example, «Tenho cantado muitas
canções»/«Tinha cantado muitas canções», these examples in Table
5 are already typical modern constructions, so that we can say that
Portuguese compound tenses have now finally emerged in a written
text. The subjects of the auxiliary verbs and of the actions expressed
by the past participle have coincided, with loss of participial agreement
(since the idea of possession has given way to the idea of temporal
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Maria José CARVALHO
‘memory’). Due to the type of documents (giving juridical proofs),
there are no occurrences of the Compound Preterite in this table.
Almost all examples are of the Compound Pluperfect, expressing a past
action occurring before another also in the past, constructed with the
auxiliary ter in the Imperfect Indicative + uninflected past participle.
Exceptionally, there appears a construction with Compound Pluperfect
Subjunctive (Imperfect Subjunctive of ter + PP of the main verb:
tivesse fecto).
Firstly, some chronological considerations in comparing the
data in Table 5 to those in Table 2, 3 and 4: from the middle of the
15th century, structures of this type with the verb auer disappeared
- apart from the late example from table 2: «que elles avyão a dyta
demarquação aſj ffeyta» (1541)17. Thus, from then on, auer was
gradually replaced by ter, although there had been a tendency towards
this ‘almost synonymous’ exchange of functions from the more archaic
phase. The expansion of teer + participle thus followed the same steps
as the expansion of teer with lexical value, as a verb of possession.
These data are interesting because they show that auer + PP (indicating
‘possession’ of a resultative state) would already have begun to sound
‘different’ to ordinary people, among whom this construction seems to
have died out by the mid-15th century, either to express a resultative
state or a past action.
Curiously, the first examples of compound tenses with auxiliary
ter presented by Harre are from the Crónica de D. João I by Fernão
Lopes (mid-15th century); however, seven of the eight cases are
preceded by como or segundo (‘as’), which create coherence in
the discourse: “como teendes ouujdo”, “como tinha hordenado”,
“segundo tinha hordenado”, etc. The data which we have presented
here, together with the examples of the Crónica de D. João I, support
the idea of the diffusion of the compound tense structure during the
second half of the 15th century. It seems to us, in fact, that in this
Seifert observes that “El siglo XVI es la época de los juegos de palabras” (Seifert, 1930,
p. 384). This sudden revival of this kind of construction could have been a reaction against
grammaticalization which had already become established in other structures. One argument
in favour of this hypothesis could lie in the interpolation of various elements between auer
and the participle, since “the fact that something can be placed between haber or tener and
the participle indicates a relatively low level of grammaticalization”. (Harre, 1991, p. 123). In
our view, this aspect shows a high degree of linguistic awareness. Around 1540, haver seems
to have been eliminated from norms established by grammarians, since in João de Barros’s
Grammar, ter no longer appears as a variant of haver. See Mattos e Silva (2002, p. 134).
We should remember that Teyssier (1984, p. 147), in his study of Brazilian and European
Portuguese, says that “haver no longer exists as an auxiliary except in certain standard written
registers, particularly in Brazil”.
17
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process we must distinguish the phenomenon of diffusion from that of
the implementation of the new structure, since “grammaticalised forms
may coexist alongside nongrammaticalised ones, sometimes for many
centuries”(Traugott, 1995, p. 32).
Concerning this syntactic-semantic change, the move from a
perfective value with resultative character to a value of time, of ‘memory’,
should be seen as a process of grammaticalization, with ter becoming
an auxiliary. Harre’s assertion on this grammaticalization (1991, p. 69)
is relevant here: the frequent identification of the Locative of tener
with the Agent of the verb in participial form gradually leads to the
obligatory identification of the two, and perhaps from there to the
grammaticalization of the construction as a compound perfect form.
Thus, “it is the development towards a past tense interpretation
which encourages the invariant participle construction” (Harre, 1991,
p. 145). This type of evolution could be linked to a process of ‘erosion’,
as claimed by Hopper and Traugott and by Heine (Hopper & Traugott,
1993, p. 201; Heine, p. 116). According to Hopper and Traugott,
grammaticalization can be seen as a kind of ‘routinization’ of the
language: a form or a construction occurs increasingly often and, from
being an unusual way of marking or reinforcing a discoursal aspect, with
use it becomes the habitual, automatic (because unnoticed) practice.
(Hopper & Traugott, 1993, p. 201). Heine, presenting Marchese’s
conclusions on auxiliaries in the languages of the Ivory Coast and
Liberia, states that one of the characteristics of reanalysis is that “it
may be triggered by erosion […], but it may also itself trigger erosion”
(Heine, 1993, p. 116).
Thus this gradual change from resultative to preterite is precisely
an example of subjectivization in Traugott’s sense, since what is said
is gradually replaced by the here-and-now of the speaker/narrator,
viewed as the most important site for past events. Furthermore,
since meanings become more speaker-based, what the speaker/
narrator implies in conversation are meanings that may not be codified
linguistically, and their repeated use in localized syntactic contexts
leads to their becoming conventionalized. Thus the interlinked notions
of subjectivization and conventionalization of implicatures can explain
the change from resultative state to temporal meaning in compound
tenses.
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Maria José CARVALHO
“Ter” as an auxiliary verb: social history, change and awareness of
change
The first document in our corpus showing what we may consider
a true and typically Portuguese compound tense dates, therefore, from
the second quarter of the fifteenth century (1434)18, but it was only
in 1455 that the unchanging participle, lacking agreement, appeared
for the first time. Thus, in the examples in Table 5, ter appears
grammaticalized, as an auxiliary indicating time. Within the verb
group, it has the inflectional function (mode/time), while it is the past
participle – now unvarying for number and gender - which fulfills the
lexical function.
According to Naro and Lemle (1977, p. 265), at least in the early
linguistic stages of the new construction, all the formal peculiarities of
the earlier structures (especially agreement in number and gender) were
maintained, disappearing only gradually in the following centuries. Our
research confirms this, but indicates that this coexistence of old and
new structures is only seen in the second half of the 15th century, since
in the 16th century we see only 3 examples of the earlier constructions
(with agreement of gender and number) and 7 of the new forms,
with temporal meaning. In fact, 4 of the latter are contained in the
same document, dated 1536, produced in an outlying rural area,
which suggests the need for wider research, not only in other similar
collections of documents but also in other textual genres, in order to
relate the evolution of the structure to sociolinguistic parameters. We
think that a distinction should be made here between two different
phases of change, diffusion and implementation, since the former is
seen in the second half of the 15th century and the latter finally in the
first quarter of the 16th century.
In terms of social and economic history, after the incident of
Alfarrobeira (1449), when King Afonso V came to the throne, ending
the crises and conflicts which had dragged on since the previous
This example seems to relate to the hypotheses of Company: “es probable que en la conciencia
lingüística de la Edad Media la disminución de la concordancia del lexema participial se iniciara
a partir de aquellos casos en que el objeto directo de la oración tenía un referente masculino
singular y que constituía, por tanto, la forma no marcada frente al femenino y al plural”. Thus,
later it would have extended to the feminine singular and later to the plural: “se gramaticalizan
primero los particípios de verbos intransitivos y las construcciones transitivas con objeto
direto no marcado, afectando posteriormente en un proceso gradual la no concordancia a
objetos diretos marcados por uno o más morfemas» As we do not have access to Company’s
dissertation (México), we are quoting it from García Martín (2001, p. 126-127).
18
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century, it seems that compound tenses were definitely starting to
become established. This syntactic change occurred in parallel with the
African conquests, the first effects of overseas expansion on the life
of the capital, and the strengthening of social networks as a result of
demographic growth, which were clearly decisive in consolidating the
language. So, in the 1480s, when the first winds of Italian humanism
blew into Portuguese culture, and when commercial capitalism began
to be established on a transcontinental scale, favored by the new
Cape route, it can be said that this syntactic change in Portuguese,
particularly significant in the framework of Romance languages, was
now beginning to happen.
What was the linguistic consciousness or perception of speakers
with regard to ter as an auxiliary verb and its consequent loss of lexical
character? In Fernão Lopes (mid-15th century), our most important
medieval chronicler, the large number of examples of the order PP +
ter leads us hypothesize that this structure reflected a metalinguistic
consciousness related to the arrival of a new and different grammatical
category, the focus of which was beginning to be the past participle
as the marker of time, and not the verb ter with lexical meaning. This
hypothesis must correspond to Harre’s comment: “The high proportion
of examples of the past participle + ter order in RDJ [charters of King
João] seems to be due to a particular stylistic device of the author”19
(Harre, 1991, p. 133). In fact, although the past participle sometimes
agrees with the direct object, the inverted order could show awareness
of a change taking place and of the emergence of a category with
‘quasi-auxiliary’ status (in which ter could still be a ‘lexical auxiliary’
and not yet a ‘functional auxiliary’), that is, structures behaving as
compound tenses but still containing formal markers characteristic of a
previous state of the language20.
Thus, from the second half of the 15th century, ter was clearly
used in all constructions, although haver still persisted as a synonymous
variant of ter, with temporal value, in the Crónica de D. João I of
This characteristic of the author, who was very aware of issues related to language change,
(especially the adaptation of the language to the characters in the action) has been mentioned
by us in another study (Carvalho, 2003).
19
20
The designation of ‘quasi-auxiliary’, curiously, has been proposed by several researchers. We
refer the reader to Heine’s definition (1993, p. 15): “Quasi-auxiliaries may be characterized as
verbs that in most respects behave like full verbs but, when governing nonfinite (participial,
gerundival, infinitival, etc.) verbs, tend to assume a grammatical or “formulaic” function […]”.
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Maria José CARVALHO
Fernão Lopes (Harre, 1991, p. 136)21. Although a systematic analysis
of the behavior of the two forms in Lopes’s work is beyond the scope
of this study, we think it would be interesting to list the contexts of
auer + PP with perfective value, since habere (not ter) is the auxiliar
verb in Spanish 22. This could indicate his linguistic awareness of an
ongoing change and the need to recover what had been forgotten in
common speech. Thus, the skill shown in the handling of this kind
of ‘syntactico-semantic specialisation’, which also shows skill in
metalinguistic awareness, would simply be an attempt to restore the
semantically emptied auer, which had long since lost its notional value
of possession. It constituted, we may say, an attempt at a literary
revenge action against the inexorable advance of ter in all structures
of the language.
As we have mentioned elsewhere, (Carvalho, 2003, p. 5969), the modern phase of the language begins precisely with this new
linguistic awareness, as seen in the social evaluation by speakers or
writers of certain signs which they begin to see as archaic. The structure
of compound tenses was certainly operating in the language when
Fernão de Oliveira was writing his Gramática (1536). Seifert produced
similar data for Spanish: “En el siglo XVI tiende tener a establecerse
como auxiliar verdadero” (Seifert, 1930, p. 382).
Conclusions: towards a methodological issue for a cognitive
and diachronic process
In analyzing this phenomenon we can present some
generalizations with important implications at the level of syntactic
change. The gradual move from auer/ter meaning ‘possession’ of the
result of an action to auer/ter with grammatical significance as a tense
auxiliary was based on a transference which was cognitive in nature,
as claimed by Heine (1993, p. 86): “When talking about auxiliaries,
we refer to one particular outcome of a cognitive process whereby
concrete, schematic contents are employed for the expression of
According to C. Harre, there are 36 occurrences of ter and e 15 of aver + PP in this work;
in Lopes’s successor as chronicler (Azurara), in the following decades (1460/70) the verb auer
practically disappears.
21
22
In the Crónica de D. João I we see haver + PP, always indicating past action, in contrast to
ter, which can also show a resultative state. Harre (1991, p. 137) says that “in this way ter
+ past participle has some specific uses linked to its lexical value, not open to haver + past
participle”.
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abstract grammatical concepts”.
The fact that this was a process of ‘desemanticization’ of auer/ter,
turning them from full verbs (with semantic content of possession) into
auxiliaries23, does not imply that the ‘phrasal constructions’ with auer/ter
followed by the inflected participle were completely eliminated from the
language; rather, there was a syntactic specialization which survives in
current Portuguese (see “Tenho estudado a lição” versus “Tenho a lição
estudada”: ‘I have studied the lesson’ v. ‘I’ve got the lesson studied’).
This connects with Heine’s idea of ‘stages of grammaticalization’ which
coexisted in the synchronic structure of the language in the form of
‘grammaticalization chains’ (Heine, 1993, p. 120). It also relates to
the notion of ‘layering’ proposed by Hopper and Traugott, according
to which when a form or construction emerges in a language it does
not immediately replace or eliminate the earlier equivalent – rather,
both coexist. There may be lexical, constructional, or sociolinguistic
specialization, or they may present stylistic or discursive alternatives.
(Hopper, 1991, p. 23; Hopper & Traugott, 1993, p. 114).
The concept of “layering” or “variability” can be seen as the
synchronic consequence of a diachronic process, as Hopper and
Traugott (1993, p. 123-124) suggest in their definition: “Layering is
the synchronic result of successive grammaticalization of forms which
contribute to the same domain”.
Ter (teer, in medieval Portuguese) in possessive structures and
in structures with the past participle (where it functions as an auxiliary)
is therefore a case of ‘divergence’, presented by Hopper (1991, p. 24)
in these terms: “Divergence is applicable to cases where one and the
same autonomous lexical item becomes grammaticized in one context
and does not become grammaticized in another”. Curiously, the verb
haver still survives as an auxiliary in compound tenses, particularly in
the Compound Pluperfect (havia visto, havíamos cantado) in Brazilian
Portuguese, while in the European variety it is confined to highly
formal and specific written registers. In 1500, when Pedro Álvares
Cabral reached the ‘new’ continent, the colonizers, probably socially
stratified, still carried spoken forms of this auxiliary verb24. On the
For a schematic presentation of the so-called ‘bleaching model’ see Heine, Claudi &
Hünnemeyer 1991, p. 109.
24
It is curious that in the same structures where European Portuguese uses the verb haver,
that is, in existential structures, Brazilian Portuguese uses ter, as in «Há muita fome no Rio
de Janeiro» (Eur. Port.)/«Tem muita fome no Rio de Janeiro» (Bras. Port.), “There is a lot of
hunger in Rio de Janeiro”.
23
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Maria José CARVALHO
other hand, it must have been through normative literary influence that
habere reasserted its place in modern Castillian. José Saramago, the
Portuguese writer (Nobel Prize for Literature 1998) who lived in Spain
for the last 17 years of his life, used haver in this type of construction
as a stylistic resource to give an archaic tone, of ancient chronicles or
even of the Bible, within a novel.
Such considerations demand a variationist type of theoretical/
methodological approach in the study of aver/ter as auxiliaries in
compound tenses in Romance languages in general. This has been
applied in recent years essentially to phonological and morphological
questions, but it would yield equally good results with syntax. This
methodology is based on the corpus, emphasizing its constituent texttypes and genres, since social, contextual and situational factors play
an important part in this process of change.
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Recebido em 17 de junho de 2013.
Aceito em 17 de outubro de 2013.
Entrepalavras, Fortaleza - ano 3, v. 3, n. 2, p. 33-57, ago/dez 2013